Location: West Sussex
Job Type: Permanent
Salary: £33,500 to £38,500 per annum
Our client, a whole of market advice business are keen to add a Compliance Supervisor to their team in West Sussex.
- Act as a point of contact on compliance matters for member firms and T&C supervisors - this will include ensuring they adhere to internal and regulatory processes and procedures
- Support in audits on individuals/firms where there is evidence of the firm or individual being of risk to the company
- Provide detailed feedback and action plans on the back of audits as well as completing an overall risk assessment of the firm/individual
- Check client files to ensure they provide good customer outcomes and suitability
- Identify and report any breaches found relating to compliance and/or training failures
- Provide guidance to firm/individuals in maintaining good compliance and business procedures
- Strong compliance experience within an FCA regulated environment
- Level 4 diploma in financial planning
- Strong attention to detail and analytical skills
If this Compliance Supervisor role is of interest and you hold the relevant skills and experience, please apply now.
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